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    Tracy Wiswall

    Memphis, Tennessee

    Senior Vice President - Compliance

    B. Riley Wealth Management, Inc

    Specialties

    check markAdministrative & Office

    check markEnvironmental Health & Safety

    check markGeneral Manager/Location Manager

    check markOperations Management

    check markPlant & Facilities Management

    check markProcurement

    check markProcess Management

    check markQuality Management

    check markSupply Chain & Logistics

    check markGovernment & Military

    Where I've Worked
    B

    Jun 2017 – Present

    Senior Vice President - Compliance

    B. Riley Wealth Management, Inc
    B

    2017 – Present

    SVP, Senior Compliance Officer

    B. Riley Wealth Management, Inc
    W

    Aug 2011 – Jun 2017

    Senior Vice President - Compliance

    Wunderlich Securities, Inc.

    2010 – 2017

    SVP, Senior Compliance Officer

    W

    Apr 2004 – Aug 2011

    Chief Compliance Officer

    Wunderlich Securities, Inc
    W

    2004 – 2010

    SVP, Chief Compliance Officer

    Wunderlich Securities, Inc
    N

    Jun 1999 – Apr 2004

    Senior Compliance Examiner

    NASD (now FINRA)
    N

    2002 – 2004

    Senior Compliance Examiner

    NASD, Inc
    Where I've Studied

    BA, Business Administration

    Southeastern Louisiana University

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    B. Riley Wealth Management, Inc

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